Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ameriprise Financial Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| James Russell Doherty | 2780018 | 2 | 10/31/2012 | Customer Dispute | Denied | $55,590.00 | $0.00 | See FINRA Report |
| Michael Stallone | 4535044 | 3 | 10/11/2012 | Customer Dispute | Denied | $18,157.50 | $0.00 | See FINRA Report |
| Jonathan Scott Kuttin | 2519437 | 3 | 10/08/2012 | Customer Dispute | Denied | $47,157.00 | $0.00 | See FINRA Report |
| Rodney Wayne Rich | 714642 | 2 | 10/03/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Tao | 2505955 | 4 | 10/01/2012 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Peter Roland Groeschel | 1514722 | 2 | 09/25/2012 | Customer Dispute | Denied | $41,242.50 | $0.00 | See FINRA Report |
| David Gene Varner | 4723070 | 4 | 09/17/2012 | Customer Dispute | Denied | $13,339.00 | $0.00 | See FINRA Report |
| Donald Bertucci | 2615460 | 2 | 09/14/2012 | Customer Dispute | Denied | $16,026.20 | $0.00 | See FINRA Report |
| Randy Lee Stewart | 2398047 | 5 | 09/07/2012 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Michael Robert Albrecht | 2241047 | 1 | 09/06/2012 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |